Tag Archives: Brett Stephen Briggs

FINRA Sanctions Financial West Stockbroker For Failure To Supervise

December 07, 2020  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   Comments Off on FINRA Sanctions Financial West Stockbroker For Failure To Supervise

Brett Stephen Briggs of Los Angeles California a stockbroker and supervisor formerly registered with Financial West Group has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity and has been fined $20,000.00 supported by findings that he failed to supervise stockbrokers at Financial West Group. Letter of Acceptance […]

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